MIAMI UNIVERSITY — THE GRADUATE SCHOOL CERTIFICATE FOR APPROVING THE DISSERTATION We hereby approve the Dissertation of Mark Howard Morris Candidate for the Degree Doctor of Philosophy Dr. Ryan J. Barilleaux, Director Dr. Augustus J. Jones, Jr., Reader Dr. Douglas H. Shumavon, Reader Dr. Robert V. Friedenberg, Graduate School Representative ABSTRACT PRESIDENTIAL PARDON POWER: DISCRETION, DISUSE, AND MASS MEDIA COVERAGE by Mark Howard Morris Despite a constitutional foundation and relatively active use until recent years, presidential pardon power remains a little studied and poorly understood executive power. This dissertation seeks to partially remedy this void in the literature with a systematic analysis of the power to pardon. In addition, presidential pardon power has fallen into a state of near disuse in the last two decades. Can factors be identified that explain this trend towards disuse of presidential pardon power? Might these or similar factors then have the potential of affecting the use of other presidential powers? Put another way, are the factors influencing the use or disuse of the pardon power transferable to other presidential powers? PRESIDENTIAL PARDON POWER: DISCRETION, DISUSE, AND MASS MEDIA COVERAGE A DISSERTATION Submitted to the Faculty of Miami University in partial fulfillment of the requirements for the degree of Doctor of Philosophy Department of Political Science by Mark Howard Morris Miami University Oxford, Ohio 2004 Dissertation Director: Dr. Ryan J. Barilleaux TABLE OF CONTENTS Acknowledgements iv 1 Introduction 1 2 Scholarship 8 3 Research Question and Methodology 27 4 Historical Developments and Evolution 35 5 Administrative Rules and Procedures 45 6 Case Studies: Richard Nixon and Marc Rich 78 7 Conclusion 108 Appendices: 117 Appendix 1 – Pardons and Commutations: 1900-2001 Appendix 2 – List of Pardon Attorneys Appendix 3 – U.S. Attorneys’ Manual Appendix 4 – Executive Grant of Clemency – Roger Clinton Appendix 5 – Pardon Proclamation (Nixon) Appendix 6 – Transcript of Ford’s Pardon Appendix 7 – Nixon Pardon Articles and Classification Appendix 8 – Rich Pardon Articles and Classification Appendix 9 – Pardon Petition After Completion of Sentence Bibliography 155 Legal Cases 165 List of Tables: Table 1: Top 20 Annual Pardon & Clemency Petitions Submitted Table 2: Pardon Grants During First Three Years of Presidency List of Figures: Figure 1: Pardons & Commutations by President (1900-2001) Figure 2: Pardon & Commutation Petitions Submitted (1900-2001) Figure 3: Annual Pardon & Commutation Petitions (1967-2001) ii To my wife Karen, and my daughters Melissa and Emily, who never asked why, but instead gave freely of their love. Thank you. iii ACKNOWLEDGEMENTS The journey to this page has been a long and winding one. With over two decades between my undergraduate degree and this one, it is nearly impossible to name all those to whom I owe debts of gratitude. So I will begin with those large institutions that have shaped me into who I am today. I am very grateful for my years at Michigan State University. For many reasons, it is much more than an alma mater to me. I spent ten years at Citibank where I was privileged to work with some of the most talented people I have ever known. San Francisco State University provided a challenging environment for me to rekindle my interest in learning. Dr. Ryan J. Barilleaux has patiently served as the Chair of this dissertation. His guidance, enthusiasm, and support helped me finish when it would have been easier to walk away. I thank him for his professional assistance but even more for his friendship. I want to also express my gratitude to the other members of the committee, Dr. Augustus J. Jones, Jr., Dr. Douglas H. Shumavon, and Dr. Robert V. Friedenberg who gave of their time to assist me. Not unlike Michigan State, Miami University has become a special place for me where I have grown academically, professionally, and personally. The faculty of the Department of Political Science made me feel welcome, challenged my abilities, and supported my interests. Thanks Dotti for all you did. As important to me has been the friendships that have developed in the close confines of my graduate education. Thanks to Jody Baumgartner for shared research, computer assistance, and friendly encouragement. Thanks to Kevan Yenerall, who inspires with both his words and his actions. Thanks to Mark Sachleben for being not only a great friend but also for convincing me that I could complete this project. And thanks to Chris Kelley for his passion for knowledge, his kind support, and especially his humor. In the process of pursuing this degree, I met Dr. Philip A. Russo, Jr. Phil is not only the best classroom professor I have ever seen, he is also the best boss I have ever worked for. I thank him for his professional guidance, his trust and confidence in me, and his friendship. Working in an office of three, you get to know your co-workers quite well. I feel fortunate to work with two great iv people. Lori Libby is a supportive co-worker and the Center’s institutional memory. I want to thank her for generously sharing her time and experience with me over the years. Andrew Dudas took me on as his shadow in my initial months at the CPMRA. Over the course of time, he has become a valued and trusted friend. The measure of Andrew is that I could call him at any time day or night, and he would simply ask, “How can I help?” Thank you. I have been blessed with an amazingly large and supportive circle of friends. The Fairfield Flippers swim team provides fun, entertainment, and friendship. The Ice Mongrels make every day an “ice” day. I am humbled to be a part of a wonderful community of faith at JWUMC. Thanks for your prayers and support over all of the years. Then, there is my family. I wish my Dad were here to see me finish this dissertation. Because he is not, I am proud that our names are together on the title page. I thank my Mom for loving me without question. I have learned much about life from my grandparents. Your number one grandson can never thank you all enough. My siblings have always had more faith in me than I did in myself. No one could have better in-laws than I do. Tony, thanks for leading me across Montana and for not letting the miles diminish our friendship. I am not sure how to thank these last three people. They willingly packed up and moved across the country so I could pursue my education. There were too many weekends where they would “disappear” so I could read, write a paper, or study for comps. My wife Karen and daughters Melissa and Emily have earned this degree with me. Thank you for the smiles, hugs, notes, and especially your love. None of this would matter without the three of you to share it with. v 1 INTRODUCTION The United States Constitution confers upon the president a variety of responsibilities and powers. For example, the formal powers granted to the president make him the commander in chief, allow him to veto legislation, to make treaties (with the consent of the Senate) and to appoint federal judges. Much has been written about the use of these types of executive power. Until recently, one additional constitutionally authorized executive power has drawn little attention from either scholars or the public, the executive power to pardon. Article II, Section 2 of the Constitution states in part, "The President…shall have power to grant reprieves and pardons for offenses against the United States, except in cases of impeachment." Despite its constitutional foundation and its relatively active use, the pardon power remains a little studied and poorly understood executive power. This dissertation seeks to partially remedy this void in the presidential literature. Like many fields of scholarly study, U.S. presidential scholarship has evolved over an extended period of time. The initial focus of presidential scholarship was often historically based and concentrated on the formal or constitutional powers of the president. In the early 1960s, scholarly attention shifted to a broader view of the presidency that included informal powers of the office. This expanded view of the presidency is often credited to the groundbreaking work of Richard Neustadt and his “modern” presidency arguments.1 This study will use a combined approach that requires us to 1 Neustadt, Richard E. 1960, 1980, 1990. Presidential Power and the Modern Presidents. New York: The Free Press. 1 consider the interaction between both formal and informal powers of the president. If other scholars have yet to show any interest in executive pardons, why make it the focus of this dissertation? I suggest there are four compelling reasons for this specific analysis and a more general academic interest in the executive pardon power itself. First, it offers us a chance to systematically consider a presidential power that is little studied and poorly understood. The presidential literature provides little insight into the development and use of the pardon power. Only the high profile pardon of President Nixon in 1974 drew any significant attention from scholars. This lack of scholarly attention is most notable when speculation about a potential presidential pardon arises. For example, the Iran-contra scandal during the Reagan presidency led to much speculation that Oliver North would receive a presidential pardon. There was also speculation that President Clinton might pardon his wife Hillary Rodham Clinton for her involvement in the Whitewater scandal. Both of these potential pardons (neither came to fruition) attracted media but not scholarly attention. We might now expect an increase in scholarly interest in the pardon, particularly since the highly controversial pardon of Marc Rich by President Clinton as he left office in January 2001.